GathererOfNews Archive
Law360, London (March 20, 2020, 4:03 PM GMT) — Financial advisers will be allowed to deviate from Europe’s securities rulebook if they are unable to record phone calls to clients about trades during the coronavirus pandemic, the
Under the proposed amendments, the tick size regime will not prevent trading venues from matching large in scale orders at mid-point within current bid and offer prices. The UK Financial Conduct Authority (FCA) has earlier today posted
Reputation restored Over the last three and a half years, under Charles Montanaro’s direction, Montanaro UK Smaller Companies Trust (MTU) has rebuilt its long-term record of outperformance of its benchmark. A strong NAV uplift over the second
Compliance bods often say that you should start worrying when the regulator goes quiet. By the FCA’s standards, November and December 2019 were pretty low key. But, true to form, it was back with a bang in
The PRA’s Supervisory Statement on outsourcing arrangements is due later this year. We outline how it should help organisations construct outsourcing policies and arrangements which reflect their risk profile and business model. Background Regulation of outsourcing in
The PRA’s Supervisory Statement on outsourcing arrangements is due later this year. We outline how it should help organisations construct outsourcing policies and arrangements which reflect their risk profile and business model. Background Regulation of outsourcing in
